Legal Administrator
Job Background/context:Markets Legal is a team of circa 50 lawyers and legal professionals supporting the Fixed Income and Equity Sales, Trading and Derivatives Businesses. The successful candidate will work alongside 5 other secretaries in Markets Legal.Markets Legal is a team of circa 50 lawyers and legal professionals supporting the Fixed Income and Equity Sales, Trading and Derivatives Businesses. The successful candidate will work alongside 5 other secretaries in Markets Legal. Key Responsibilities:Includes, but not limited to:Providing a strong administrative/secretarial support role to the Read more […]
Senior Legal Counsel
Harvey Nash is working on an exceptional In-House Legal opportunity for a leading Financial Services company based in Edinburgh. Our client is seeking a Senior Legal Counsel to join the business where you will focus on providing legal and regulatory advice to the insurance business. This is a senior role that will allow you exceptional exposure across the business.The role will have a strong focus on providing SME advice in relation to legal matters across the Insurance business. This will cover contractual and distribution arrangements, partnership negotiations, contract negotiations and advising Read more […]
Compliance Analyst,Officer
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,460 employees across 29 countries, Read more […]
Project Manager
Role Overview: Core deliverables of the project include building a process repository for Compliance Operations and ensuring the on-going upkeep of all process documentation in line with operating model standards. Additionally the project will define and deliver the formation of a centralised Quality Control function with span of control across all Compliance Operations locations. The project will work within the Business Risk and Control Management framework, to effectively report incidents and control gaps and work with regions and business to mitigate all such issues. Experience:Must Read more […]
Programme Manager
As a Programme Manager you will be responsible for taking end-to-end responsibility for multiple projects simultaneously, managing the migration of current systems onto the future state client architecture. You will also, among other things, establish governance, articulate business cases, develop scope, project strategy and manage delivery. You should apply for this role if you have: · Programme management or large scale project management track record· Strong reference data experience, either client or instrument data· Track record delivering Read more […]
SVP/ Director of Operational Risk, Compliance & Technology for leading NY Investment Bank
SVP/Director of Senior Operational Risk, Compliance Technology for leading NY Investment Bank A highly successful bank is looking for an experienced operational risk professional with extensive exposure to SOx compliance to take on a senior position within the rapidly expanding New York head office. This key role within the Risk Compliance group will oversee the banks’ operational risk function and reports directly to the CRO. The position is ideally suited to a Senior or VP risk management professional with a background in risk and control within top tier financial institution. This hybrid Read more […]
Senior Compliance Officer for Leading Broker Dealer (Series 24 required) | USA
Senior Compliance Officer for Leading Broker Dealer (Series 24 required) | USA Salary – 120 – 150k USD + bonus benefits Location – CT, USA Description A leading US Broker-Dealer is looking for a new Chief Compliance Officer to lead both the Legal Compliance function. The role will report directly into the board as well be required to liaise regularly with the Head of Trading and Head of Operations. The role responsibilities will involve ensuring the groups continued compliance with all current financial regulations as well as briefing and instructing senior management with upcoming Read more […]
AML Compliance Associate
Position Description The Legal and Compliance Department’s UK AML Group, which is based in London, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all businesses including Institutional Sales and Trading, Private Wealth Management Business, Investment Banking and Investment Management across the EMEA region. A need has arisen for an individual to provide support to the existing AML team.• Review output of sanctions screening of payments and securities reports and take appropriate action.• Review negative media alerts from RDC for high and medium Read more […]
Risk Manager
Global Investment bank is seeking for experienced Operational Risk professional. Responsibilities: Technology Risk * Assurance reviews to assess risk exposures * Manage the process for indentifying and assessing the risks affecting the business * Gap analysis and development and agreement of remediation actions * Coordinate findings and engage with stakeholders for formal review * Facilitating review meetings and facilitate review and agree action points * Manage further action points to conclusion and final approval process * Work to enhance process and implement new versions of assessments Please Read more […]
Associate Director, Corporate Secretarial & Administration
Are you a professional and ambitious corporate secretary with experience working in an outsourced environment? If so, my client is looking for a visionary candidate to help grow their business. My client, a market leading international accountancy firm, is looking to grow their corporate secretarial, payroll and accounting business in order to offer bespoke outsourcing services to their clients. The successful candidate will be expected to oversee the overall business This is an exciting opportunity to drive a new business area and there are significant opportunities for career development in the Read more […]